Cathy A. Wagner

CATHY A. WAGNER, CFP, RIA

Palm Harbor, FL 34684

Some features on this profile are disabled

CRD#: 713863

Professional summary

Cathy Ann Wagner, CFP® is a registered financial advisor currently at CATHY A. WAGNER, CFP, RIA located in Palm Harbor, Florida and OSAIC WEALTH, INC. located in Palm Harbor, Florida.

Cathy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Cathy has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) INDEPENDENT RIA: CATHY A. WAGNER, CFP, INVESTMENT RELATED, 2662 W LAKE ROAD PALM HARBOR FL 34684, OWNER, 1987, 15, 1, ; CREATE WRITTEN FINANCIAL PLAN FOR CLIENTS. 2) CORPORATE RIA: FSC SECURITIES, INVESTMENT RELATED, 2662 W LAKE ROAD PALM HARBOR FL 34684, OWNER, 1990, 20, 10, PREPARES FINANCIAL PLANS. 3) PROFIT/NON-PROFIT I: PALM HARBOR FIRE DEPT PENSION PLAN BOARD, NOT INVESTMENT RELATED, WEST LAKE ROAD PALM HARBOR FL 34684, CHAIRPERSON, 2002, 1, 0, NO COMPENSATION, CHAIR QUARTERLY BOARD MEETINGS. 4) INSURANCE: CATHY A. WAGNER, CFP, INVESTMENT RELATED, 2662 W LAKE ROAD PALM HARBOR FL 34684, INDEPENDENT INSURANCE AGENT/OWNER, STARTED OVER 20 YEARS AGO, 1, 0, SELECT APPROPRIATE INSURE FOR CLIENTS. 5. CATHY A. WAGNER, CFP POSITION: Owner, RIA NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 1 START DATE: 01/01/1987 ADDRESS: 2662 w lake road, palm harbor FL 34684, United States DESCRIPTION: create written financial plan for clients 6. MARKETING DBA WAGNER ADVISORY GROUP POSITION: owner NATURE: dba Marketing Name INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2018 ADDRESS: 2662 w lake road, palm harbor FL 34684, United States DESCRIPTION: This OBA disclosure is just to notify of our Marketing dba Wagner Advisory Group.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cathy Ann Wagner's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Cathy Ann Wagner's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1986

Experience

Current

April 2, 2004 - Present

CATHY A. WAGNER, CFP, RIA

Office #1: 2662 West Lake Road, Palm Harbor, FL 34684

RIA

CRD#: 141583

Palm Harbor, FL

Current

November 3, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 2662 West Lake Road, Palm Harbor, FL 34684

RIA

CRD#: 23131

Palm Harbor, FL

Current

November 3, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 2662 West Lake Road, Palm Harbor, FL 34684

RIA

CRD#: 23131

Palm Harbor, FL

Past

April 2, 2004 - December 31, 2011

CATHY A. WAGNER, CFP, RIA

RIA

CRD#: 141583

PALM HARBOR, FL

Past

April 30, 1993 - November 3, 2023

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

PALM HARBOR, FL

Past

April 30, 1993 - November 3, 2023

FSC SECURITIES CORPORATION

CRD#: 7461

PALM HARBOR, FL

Past

October 23, 1991 - May 10, 1993

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

April 19, 1991 - May 17, 1993

VISION INVESTMENT GROUP, INC.

CRD#: 28135

Past

November 6, 1986 - June 10, 1991

HDA SERVICE CORPORATION

CRD#: 6145

LITTLE SWITZERLAND, NC

Past

August 16, 1982 - November 10, 1986

FSC SECURITIES CORPORATION

CRD#: 7461

Past

January 21, 1982 - October 8, 1982

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Past

August 19, 1980 - January 21, 1982

NIES/BRAUER SECURITIES, INC.

CRD#: 6707

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(11/3/2023)

Arizona
(11/3/2023)

Colorado
(11/3/2023)

Delaware
(11/3/2023)

IAR

Florida
(4/2/2004)

Florida
(11/3/2023)

Georgia
(11/3/2023)

Idaho
(11/3/2023)

Iowa
(11/3/2023)

Kansas
(7/7/2025)

Maryland
(11/3/2023)

Massachusetts
(11/3/2023)

Michigan
(11/3/2023)

Minnesota
(11/3/2023)

IAR

Minnesota
(11/3/2023)

Nevada
(11/3/2023)

New Hampshire
(11/3/2023)

New Jersey
(11/3/2023)

New Mexico
(11/3/2023)

New York
(11/3/2023)

North Carolina
(11/3/2023)

IAR

North Carolina
(11/3/2023)

Ohio
(11/3/2023)

Oklahoma
(4/28/2025)

Oregon
(11/3/2023)

Pennsylvania
(11/3/2023)

IAR

Pennsylvania
(11/3/2023)

Puerto Rico
(11/3/2023)

South Carolina
(11/3/2023)

Tennessee
(11/3/2023)

Texas
(11/3/2023)

IAR

Texas
(11/7/2025)

Utah
(6/6/2025)

Virginia
(11/3/2023)

Washington
(11/3/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/18/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 1/28/1981

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/28/1981

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

John Valencia

LPL FINANCIAL LLC

IAR

LARGO, FL

Spiros Vassilakos

CSENGE ADVISORY GROUP, LLC

IAR

Tarpon Springs, FL

Lee Gorgas

CHARLES SCHWAB & CO., INC.

IAR

Tampa, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Cathy A. Wagner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cathy Ann Wagner's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Cathy Ann Wagner's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

CATHY A. WAGNER, CFP, RIA

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

NATIONWIDE INVESTMENT SERVICES CORPORATION

VISION INVESTMENT GROUP, INC.

HDA SERVICE CORPORATION

FSC SECURITIES CORPORATION

RAYMOND JAMES FINANCIAL SERVICES, INC.

NIES/BRAUER SECURITIES, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/18/1994

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/16/1980

Series 27

Date: 1/28/1981

Series 24

Date: 1/28/1981

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

Similar Advisors